JOHN BOWERS
Brightwaters,NY
Summary
Seasoned NYSE Floor Executive with over 30 years of expertise in floor brokerage, agency execution, and trading operations. Currently serving as Director of NYSE Floor Operations at GTS Execution Services, overseeing institutional agency execution and regulatory readiness. Proficient in managing regulatory examinations and coordinating cross-departmental efforts to ensure compliance with SEC, FINRA, and NYSE standards.
Overview
41
41
years of post-secondary education
37
37
years of professional experience
Work History
Director of NYSE Floor Operations
GTS EXECUTION SERVICES
01.2018 - Current
- Lead NYSE floor operations supporting institutional agency execution, with responsibility for trading operations, supervision, regulatory coordination, market structure, and operational controls.
- Provide senior-level expertise on NYSE market structure, floor broker responsibilities, order handling, auctions, exchange procedures, and execution practices.
- Oversee trading workflows and operational processes supporting institutional order execution.
- Coordinate across Trading, Compliance, Legal, Operations, Technology, and Risk Management to ensure effective and compliant floor operations.
- Evaluated trading workflows, technology initiatives, and operational processes, aligning them with regulatory standards and market needs.
- Played a key leadership role during the NYSE transition from BBSS to the Polaris trading platform, helping establish new operational processes and supervisory controls.
- Coordinated 15+ annual regulatory examinations with SEC, FINRA, and NYSE agencies, ensuring compliance and operational integrity.
- Led the business team and represented the firm during regulatory examinations.
- Meet directly with examiners to explain trading operations, floor procedures, order handling, supervisory controls, and market structure.
- Coordinate the collection, review, and organization of regulatory information from Trading, Compliance, Legal, Operations, Technology, and Risk Management.
- Managed responses to regulatory requests until final resolution.
- Partner with Compliance and Legal to address examiner questions, findings, and follow-up requests.
- Maintain ongoing regulatory readiness through review of supervisory procedures, operational controls, trading practices, and documentation.
- Contributed to the GTS Best Execution Committee by providing expertise on NYSE floor and market structure in evaluating execution practices.
- Reviewed execution quality, order handling practices, market structure, and execution venues.
- Review trading activity and operational processes to identify potential trading, compliance, or execution issues.
- Monitor adherence to SEC, FINRA, and NYSE rules governing agency execution and exchange operations.
- Led NYSE Floor Members Emergency Fund as President, overseeing operations and decision-making processes.
- Contributed to FINRA Content Committee, focusing on NYSE Floor Broker Continuing Education materials and policies.
President
BOWERS SECURITIES
01.2004 - 12.2018
- Led independent securities firm, overseeing trading, operations, regulatory supervision, compliance, client relationships, and strategic direction.
- Served as senior decision-maker for trading, operational, and regulatory matters.
- Directed all aspects of institutional equity trading and brokerage operations.
- Coordinated regulatory and compliance requirements for securities business operations.
- Managed daily trading operations and ensured successful institutional client execution.
- Managed regulatory and compliance requirements associated with operating a securities business.
- Established and maintained supervisory procedures and operational controls.
Floor Broker / Sales Trader
RDM SECURITIES
01.1990 - 12.2004
- Executed institutional agency orders and block transactions.
- Managed order flow, ensuring timely execution of institutional client orders.
- Cultivated expertise in NYSE floor procedures, market structure, order handling, and exchange rules to enhance transaction integrity.
- Collaborated directly with floor participants to ensure smooth operations. with floor participants and exchange personnel to facilitate efficient execution.
- Built extensive experience executing institutional equity orders on the floor of the New York Stock Exchange.
- Developed the practical floor experience that forms the foundation of a 30+ year career in NYSE operations.
Education
Bachelor of Science - Economics
Ithaca College
Ithaca, NY 09.1985 - 05.2026
Skills
- NYSE Floor Operations
- NYSE Trading & Market Structure
- Head Floor Broker Experience
- Institutional Equity Execution
- Agency Trading
- Order Handling
- Block Trading
- NYSE Auctions
- Exchange Procedures
- Market Structure
- Execution Quality
- Trading Floor Operations
- Operational systems
- Trading Workflows
- Risk Controls
- Regulatory & Compliance
- SEC Examinations
- FINRA Examinations
- NYSE Regulatory Reviews
- Regulatory management
- Supervisory procedures
- Execution oversight
- Trading Surveillance
- Operational Risk
- Regulatory relations
- Regulatory Representation
- Team management
- Client relationships
- Strategic Planning
- Operations Management
- Exchange Relationships
- Process Development
- Tech implementation
- Floor broker duties
Finra Registrations
- Series 7
- Series 14
- Series 24
- Series 57
- Series 63
Executive Profile
- Series 7
- Series 14
- Series 24
- Series 57
- Series 63
Key Qualifications
- Series 7
- Series 14
- Series 24
- Series 57
- Series 63
Timeline
Director of NYSE Floor Operations
GTS EXECUTION SERVICES
01.2018 - Current
President
BOWERS SECURITIES
01.2004 - 12.2018
Floor Broker / Sales Trader
RDM SECURITIES
01.1990 - 12.2004
Bachelor of Science - Economics
Ithaca College
09.1985 - 05.2026